【作者】 李天放；

【导师】 冯锋；

【作者基本信息】 中国科学技术大学 ， 公共管理， 2014， 博士

【摘要】 随着当今全球经济与知识一体化的进程的日益加深,一方面世界经济发展的格局走向已呈现出显著的区域化特征,经济分工已逐渐不再以国家,而转向以区域为主进行；另一方面,科学技术对于经济增长的推动作用愈发显著,创新驱动也已成为世界各国谋求未来发展的共识。在此种背景交融下,区域科技创新能力的高低便不言而喻成为能否支撑地区经济增长进而带动国家腾飞,最终赢得全球竞争中核心优势的决定性因素。中国正处于社会经济转轨的特殊阶段,国内各个省区之间无论是自然禀赋条件还是经济发展水平等各方面均存在较大差距,如何实现这一阶段内以技术进步为核心内涵的全域经济稳健与持续增长,是一项极具挑战的任务。《国家中长期科技发展规划纲要(2006-2020年)》中明确提出,要将区域创新体系作为建设创新型国家战略的重要组成部分,及经济增长与社会进步的核心推动力,从而为区域创新活动的发展提供了具体指向。基于以上,本文旨在从以下几方面对我国区域创新进行研究,以期对区域创新活动的效能提升及治理模式的建构有所裨益,并为相关部门的政策出台提供参考和依据。(1)回顾和梳理了关于创新的主要相关理论,并对几种典型区域创新范式模型进行了述评。首先对创新基本理论、技术创新理论、国家创新理论以及区域创新理论的内涵及外延均进行了较为详细与系统的介绍。之后选取了区域创新研究发展阶段中四个不同时期里较具代表性的区域创新范式模型分别进行了描述与评价。在对区域创新系统模式研究的发展历程有所概观的基础上,指出了将纵向不同层级的各个主体行动者与横向不同区域创新活动环节之间实现有效地结合,是建构良好的区域创新网络,并促进其运行效能提升的关键之处。(2)利用共词网络分析了我国区域创新近二十年来的研究现状,总结当前研究热点并对未来研究趋势进行预判。将文献计量学方法与社会网络分可视化图谱工具相结合,以1990-2012年间我国区域创新研究文献的关键词条目为节点建构共词网络,直观地呈现出该领域的发展概貌。基于此,总结提炼得到当下学界在区域创新研究领域的八大聚焦热点；并预判围绕以企业为技术创新中心主体这一基点对区域创新发展问题予以研究,将是未来若干年间我国该领域研究的主要着眼点。(3)采用数据统计结果比对与基尼系数分解方法,分别对我国与创新发达国家之间的R&D要素投入差距、以及我国内部区域之间的R&D资源配置差距进行研究。通过将我国R&D资本与人力的投入现状与等创新发达国家比对发现,我国R&D资源投入方面存在强度与水平偏低,以及追求短期效应等问题。之后采用基尼系数分解方法对我国区域内部R&D资源配置差距情况研究,结果显示2004年以来,我国无论是R&D经费支出还是人员配置上,东、中、西三大区域以及区域之间的差距水平总体上变动缓慢且无明显改善趋势,而东、中、西三大区域间的R&D资源配置的不均衡则是导致总体差距显著的主要原因。(4)对我国区域创新活动的经济增效、分阶段与整体运行效率以及可能影响因素进行了详细的测度与评价。首先,采用主成分萃取与建构评价模型相结合的方法,对我国R&D投入与产出的综合增效以及在其影响下的区域经济发展增效进行测算与评价；之后采用网络数据包络分析(Net-DEA)方法对我国区域创新科技成果产出、科技成果转化及整体效率分别予以测算和评价,并对结果作聚类分组讨论；最后采用随机前沿分析(SFA)方法,估计了我国R&D资本与人力两大生产要素及各项非技术效率因素对于区域创新活动的影响作用,结果显示,我国区域创新活动的外部环境仍有较大待改善与提升空间。(5)基于共生理论,对以技术转移活动为依托的我国跨区域合作创新网络进行测评与治理研究。首先引入共生理论对跨区域技术转移合作创新网络作概念界定,之后对基于跨区域技术转移的合作创新活动其共生能量生成和吸收消化水平进行实证测度和分析。从而建构基于我国30个省区的具备完整时空维度的跨区域技术转移合作创新网络。结合上述分析结果,从微观主体合作层面及宏观区域协同层面两个角度上,对我国跨区域技术转移合作创新网络提出相应的共生治理方案和倡议。更多还原

【Abstract】 With the increasing deepening of today’s global economy and knowledge integration, on the one hand, the pattern of world economic development already presents prominent regionalization features, and economic division of labor doesn’t mainly happen in the nationwide, but turns to develop in the regions. On the other hand, role of science&technology in promoting economic growth becomes even more obvious. Innovation-driven also becomes the consensus for various countries in the world striving for future development. Blend in such a background, it goes without saying that the height of regional scientific&technological innovation capacity becomes the conclusive factor of whether it can support regional economic growth, drive national development and ultimately win the core advantage of global competition or not. Our country is in the special stage of social economy transition, each province in domestic has larger differences no matter in natural talent or economic development level. How to realize global economy steady and sustainable growth with the core connotation of technical progress is a very challenging task. Plan Summary of National Medium&Long Term Scientific&Technological Development (2006-2020) clearly proposes to regard regional innovation system as the significant component of building an innovation-originated nation strategy, as well as the core impetus of economic growth&social progress. Therefore, it provides specific orientation for the development of regional innovation activities. Based on the above-mentioned points of view, this paper aims at conducting a study on our country’s regional innovation from the following aspects, hoping to help promote efficiency of regional innovation activities and govern model construction, as well as provide references and basis for policies of relevant departments.(1) Review and carding on main correlation theory of innovation, as well as comment on model of several kind of regional innovation. First of all, elaborately and systematically introduce the connotation and extension of national innovation theory and regional innovation theory. Afterwards, select model of regional innovation within research&development phase of regional innovation in four different times to describe and evaluate. Then, on the basis of reviewing the development history of regional innovation system model study, point out that the key of constructing favorable regional innovative network and promoting its operational efficiency is to effectively combine each subject actor in different longitudinal hierarchies with different lateral regional innovation’activity links. (2) Make use of co-word network to analyze the research status of our country’s regional innovation in recent two decades. Summarize current research hot-spot and anticipate on future research trends. Combine bibliometrics with visualization atlas tools of social network. Regard our country’s research literatures of regional innovation during the period of1990-2012as the node to construct co-word network. Intuitively present the developmental general picture of this field. Thus, summarize and extract eight major focuses of educational circles in current research field of regional innovation; Anticipate that embracing on the enterprise is the center of technological innovation and studying on development issues of regional innovation will be the main objective of this research filed in future several years.(3) Adopt data statistical result comparing with Gini coefficient decomposition method to respectively conduct on R&D factor input differences between our country and the developed countries, as well as R&D resource allocation differences between our country’s interior zones. Through compare our country’s investment status of R&D capital and manpower with the innovative developed countries, we can find that R&D resource investment in our country has the problems of lower strength and level and pursuing for short-term effect, etc. Afterwards, adopt Gini coefficient decomposition method to research on R&D resource allocation differences between our country’s interior zones. Results show that since from the2004, total differences level between eastern, middle and western region slowly change and have no obvious improvement tendency no matter in R&D appropriation expenditure and personnel allocation, which is mainly caused by imbalanced R&D resource allocation within the eastern, middle, and western region.(4) Conduct detailed measure and evaluation on economic synergia, grading and entire operating efficiency of our country’s regional innovation and other possible influence factors. Firstly, adopt the method of extracting principal component and constructing evaluation model to measure and estimate on comprehensive synergia of our country’s R&D investment and output, as well as regional economic development synergia that affected by it. Then adopt net data envelopment analysis (Net-DEA) method to respectively measure and evaluate our country’s regional innovation scientific&technological achievements, the commercialization of research findings and overall efficiency. Conduct group discussion on results with the cluster. Finally, adopt stochastic frontier analysis (SFA) method to estimate the influences of our country’s R&D capital and human capital and non-technology efficiency factors on regional innovation activities. The result shows that the externalities of regional innovation activities in our country still have larger space to improve and enhance.(5) Based on symbiosis theory, conduct research on measure and governance of our country’s cross-regional cooperation innovative network on the basis of technology transfer activity. Firstly of all, bring in symbiosis theory to conduct concept definition on cross-regional technology transfer cooperation innovation. Then conduct empirical measure and analysis on the generated symbiosis energy and absorption&digestion level of cross-regional technology transfer cooperation innovation activity. Thus, construct cross-regional technology transfer cooperation innovative network based on30provinces in our country which have entire time-space dimension. Combine the above-mentioned analysis results, propose corresponding symbiosis governance scheme and suggestion on our country’s cross-regional technology transfer cooperation innovative network from the two perspectives of microcosmic subject cooperation and macroscopic regional coordination.更多还原